Unclaimed Profile

Thomas John Kelleher

BR DIALECTIC CAPITAL MANAGEMENT, LLC·NORWALK, Connecticut

SIE, Series 7, Series 24, Series 28, Series 55, Series 57TO, Series 63, Series 79TO, Series 87, Series 99TOClean record23 years registeredBR DIALECTIC CAPITAL MANAGEMENT, LLC

119 ROWAYTON AVE., NORWALK, CT 06853CRD# 2881063Firm CRD# 292062

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas John Kelleher · NORWALK, CT

Registration

CRD #2881063 · BR DIALECTIC CAPITAL MANAGEMENT, LLC · 23 years registered

Brand Profile

Not yet started

Career History

B. RILEY WEALTH PRIVATE SHARES

Nov 2025 – present

B. RILEY SECURITIES, INC.

Jun 2017 – present

B. RILEY CAPITAL MANAGEMENT

Sep 2015 – Mar 2025

LOS ANGELES, CA

B. RILEY ASSET MANAGEMENT, LLC

Jan 2014 – Jun 2015

LOS ANGELES, CA

B. RILEY & CO., LLC

Mar 2008 – Apr 2014

LOS ANGELES, CA

RILEY INVESTMENT MANAGEMENT

Oct 2002 – Jul 2015

LOS ANGELES, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 28

Series 55

Series 57TO

Series 63

Series 79TO

Series 87

Series 99TO

Registration record

First registered · October 11, 2002

Years registered · 23

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Introduction

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Frequently Asked Questions

What services does Thomas John Kelleher offer?

Thomas John Kelleher is a registered financial advisor in NORWALK, Connecticut. Contact their office for details on services offered.

What are Thomas John Kelleher's credentials?

Thomas John Kelleher is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Thomas John Kelleher located?

Thomas John Kelleher is based in NORWALK, Connecticut, working with BR DIALECTIC CAPITAL MANAGEMENT, LLC. Their office serves clients in the NORWALK metropolitan area and surrounding communities.

How large is BR DIALECTIC CAPITAL MANAGEMENT, LLC?

BR DIALECTIC CAPITAL MANAGEMENT, LLC is a registered investment adviser with the SEC. See their Form ADV for full details.

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